[Federal Register Volume 59, Number 230 (Thursday, December 1, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-29577]
[[Page Unknown]]
[Federal Register: December 1, 1994]
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DEPARTMENT OF JUSTICE
Bureau of Justice Statistics
[OJP No. 1016]
Z RIN 1121-ZA03
National Criminal History Improvement Program (NCHIP)
November 23, 1994.
AGENCY: Department of Justice, Office of Justice Programs, Bureau of
Justice Statistics.
ACTION: Notice of Program Plan.
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SUMMARY: The Bureau of Justice Statistics (BJS) is publishing this
notice to announce the initiation of the National Criminal History
Improvement Program (NCHIP) in Fiscal Year 1995. The grant program
implements the grant provisions of the Brady Handgun Violence
Prevention Act and the National Child Protection Act of 1993, and those
provisions of the Omnibus Crime Control and Safe Streets Act of 1968,
as amended, and Violent Crime Control and Law Enforcement Act of 1994
which pertain to the establishment, maintenance, or use of criminal
history records and criminal record systems.
This program announcement describes procedures applicable to awards
to be made under the NCHIP program during FY 1995. A program
announcement applicable to funding appropriated for years after FY 1995
will reflect comments received during the intervening time. Updated
guidelines governing use of Byrne Formula funds pursuant to the 5% set-
aside established under Section 509 of the Omnibus Crime Control and
Safe Streets Act of 1968, as amended, will be issued shortly by the
Bureau of Justice Assistance (BJA), in consultation with BJS. The Byrne
Guidelines should be considered together with this program announcement
in developing a state's program to meet the goals of the Brady Act and
the Child Protection Act.
DATES: Up to $25 million will be awarded to states submitting
applications before January 31, 1995.
ADDRESSES: Applications should be sent to Application Coordinator, the
Bureau of Justice Statistics, 633 Indiana Avenue, N.W., 11th Floor,
Washington, DC 20531.
FOR FURTHER INFORMATION CONTACT: Carol Kaplan, Assistant Deputy
Director, the Bureau of Justice Statistics at (202) 307-0759.
SUPPLEMENTARY INFORMATION:
Program Goals
The goal of the NCHIP grant program is to improve the nation's
public safety by: Facilitating the accurate and timely identification
of persons who are ineligible to purchase a firearm; ensuring that
persons with responsibility for child care, elder care, or care of the
disabled do not have disqualifying criminal records; and enhancing the
quality, completeness and accessibility of the nation's criminal
history record systems.
More specifically, NCHIP is designed to assist states:
--To meet timetables for criminal history record completeness and
participation in the FBI's Interstate Identification Index (III)
established for each state by the Attorney General,
--To improve the level of criminal history record automation, accuracy,
completeness and flagging,
--To expand and enhance participation in the FBI's Interstate
Identification Index (III) and the National Instant Criminal Background
Check System (NICS),
--To develop model procedures for accessing records of persons other
than felons (including persons subject to civil restraining orders
arising out of domestic or child abuse) who are ineligible to purchase
firearms,
--To identify (through interface with the National Incident Based
Reporting System (NIBRS) where necessary) records of crimes involving
use of a handgun and/or abuse of children, elderly or disabled persons,
and
--To ensure that states develop the capability to monitor and assess
state progress in meeting legislative and programmatic goals.
To ensure that all NCHIP-funded efforts support the development of
the national criminal record system, the program will be closely
coordinated with the FBI, the Bureau of Justice Assistance (BJA) and
the Bureau of Alcohol, Tobacco and Firearms (BATF).
Funding under the NCHIP program is available to both those states
which are subject to the 5 day waiting period (``Brady states'') and
those states which are operating under an alternative system pursuant
to approval of BATF (``non-Brady states'').
Legislative Background
The NCHIP program is authorized under Section 106(b) of the Brady
Act, which provides that:
The Attorney General, through the Bureau of Justice Statistics,
shall, subject to appropriations and with preference to States that
as of the date of enactment of this Act have the lowest percent
currency of case dispositions in computerized criminal history
files, make a grant to each State to be used (A) for the creation of
a computerized criminal history record system or improvement of an
existing system; (B) to improve accessibility to the national
instant criminal background system; and (C) upon establishment of
the national system, to assist the State in the transmittal of
criminal records to the national system.
The provisions of 18 USC 922(g) and (n), as amended by the Violent
Crime Control Act of 1994, prohibit the sale of firearms to an
individual who--(1) is under indictment for, or has been convicted in
any court, of a crime punishable by imprisonment for a term exceeding
one year; (2) is a fugitive from justice; (3) is an unlawful user of,
or addicted to, any controlled substance; (4) has been adjudicated as a
mental defective or been committed to a mental institution; (5) is an
alien who is illegally or unlawfully in the United States; (6) was
discharged from the Armed Forces under dishonorable conditions; (7) has
renounced his United States citizenship; or (8) is subject to a civil
restraining order arising out of domestic or child abuse.
The latter category was added as part of the Violent Crime Control
Act of 1994.
The Brady Handgun Violence Prevention Act, enacted in November 1993
and effective in February 1994, requires that licensed firearm dealers
request a presale check on all potential handgun purchasers by the
chief law enforcement officer in the purchaser's residence community to
determine, based on available records, if the individual is legally
prohibited from purchase of the firearm under the provisions of 18 USC
922 or state law. The sale may not be completed for 5 days unless the
dealer receives an approval before that time. The 5 day waiting period
requirement terminates by 1998, at which time presale inquiries for all
firearms will be made only to the National Instant Criminal Background
Check System (NICS). Section 103 of the Brady Act provides that NICS
will supply information on ``whether receipt of a firearm * * * would
violate (18 USC 922) or state law.'' As noted above, Section 106(b) of
the Brady Act establishes a grant program to assist states in upgrading
criminal record systems and in improving access to, and, interface
with, the NICS system.
In addition, Section 106(a) of the Brady Act amended Section 509(d)
of the Omnibus Crime Control and Safe Streets Act to specifically
provide that funds from the 5% set-aside under the Byrne Formula grant
program may be spent for ``the improvement of State record systems and
the sharing * * * of records * * * for the purposes of implementing * *
* (the Brady Act).''
The National Child Protection Act of 1993, as amended by the
Violent Crime Control Act, requires that records of abuse against
children be transmitted to the FBI's national record system. The Act
also encourages states to adopt legislation requiring background checks
on individuals prior to assuming responsibility for care of children,
the elderly, or the disabled. Section 4 of the Act establishes a grant
program to assist states in upgrading records to meet the requirements
of the Act. Under the definition set forth in Section 5(3) of the Act,
``child abuse crimes'' include crimes under any law of the state and
are not limited to felonies.
Both the Brady and Child Protection Acts required that the Attorney
General survey the status of state criminal history records and develop
timetables for states to achieve complete and automated records. The
survey was conducted during March 1994, and Governors were advised of
timetables by the Attorney General in letters of May and June 1994. The
letters indicated that compliance with timetable goals assumed
availability of grant funds under each Act.
The NCHIP program implements the requirements of the grant programs
established under both the Brady and Child Protection Acts.
In addition to the amendments noted above, Section 40602 of the
Violent Crime Control Act authorized a program to assist states in
entering data on stalking and domestic violence into local, state, and
national databases. Although funding was deferred, the Act emphasizes
the importance of ensuring that data on convictions for these crimes
are included in data bases being developed with Federal funds.
Appropriation
Section 106 (b) of the Brady Act authorized $200 million for the
grant program; the Child Protection Act authorized $20 million. An
appropriation of $100 million was made to implement Section 106 (b) of
the Brady Act for FY 1995, to be available until expended. Of this
amount, $6 million is being made available to the FBI for NICS, $1
million is available for Federal agency administration, and $5 million
will, consistent with the legislative history, be used to provide
technical assistance to states, program coordination, and to undertake
a program evaluation. The remaining $88 million will be made available
directly to the states. Of this amount, not less than $5 million will
be allocated to implement the requirement that preference be given to
states with the lowest levels of dispositions in automated records. In
light of the overlap between Brady and Child Protection Act goals,
funds from this appropriation may be used to meet related goals of the
Child Protection Act.
Program Strategy
General
To achieve the goals of the NCHIP program, at least one grant will
be made to each state with funds appropriated under the Brady Act.
Technical assistance will also be provided under BJS grant awards to
assist states in identifying areas of weakness, auditing record status,
long term planning, and developing and implementing technical and
administrative programs.
Funds under the Byrne Formula 5% set-aside program will also be
available to support the improvement of record systems and to meet the
goals of the Brady Act.
The NCHIP program includes three components: Core Activities,
Permitted Activities in Selected States (``extended core activities''),
and Least-Advanced ``Priority'' State Activities.
Core Activities
Basic System Development
Core activities focus on establishing and enhancing computerized
criminal history (CCH) records and on improving access to and interface
between such systems and the national instant criminal background check
(NICS) system. The Brady Act does not define the term criminal history
record. As defined in 28 CFR part 20, and used in the BJS Criminal
History Record Improvement (CHRI) program, however, the term is defined
as: ``information collected by criminal justice agencies on individuals
consisting of identifiable descriptions and notations of arrests,
detentions, indictments, information, or other formal criminal charges,
and any dispositions arising therefrom, sentencing, correctional
supervision, and release * * *''.
Specifically, core activities relating to basic system development
include efforts to improve the quality of criminal history records
(with emphasis on automation and disposition capture), increase
participation in the FBI's Interstate Identification Index (III), and
upgrade the accessibility of records for presale and preemployment
checks (primarily through record flagging). In addition to the above
activities relating to basic system development, core activities
include the following:
Non-Felony Records
Consistent with the Child Protection Act which defines a ``child
abuse crime'' within the context of ``a crime committed under any law
of a state,'' NCHIP core activities include efforts to increase system
access to non-felony records, particularly in areas relating to child
or domestic abuse or crimes against the elderly or disabled.
Interface With NIBRS
In order to permit states to identify persons with records
involving child, elderly, or disabled abuse, NCHIP core activities
include efforts to establish an interface between criminal history
record systems and any state data system which is compatible with
NIBRS.
Information on Stalking and Domestic Violence
Consistent with Section 40602 of the Violent Crime Control Act,
core activities include the development of procedures to ensure that
information on convictions relating to stalking and domestic abuse are
included in, and accessible through, the criminal history database.
Research, Evaluation, Monitoring and Audit
In order to maximize the utility of information collected as part
of the NCHIP program, core activities include continuing efforts to
evaluate, audit, or monitor progress in meeting legislative or program
goals through statistical or other related means, and specific research
studies relating to use of handguns.
To ensure program continuity and emphasize criminal history record
improvement in support of the NICS, the major portion of funds to be
expended for core activities should be retained by the agency with
responsibility for CCH records (if that is the agency designated to
administer the program) or transferred directly to the agency with such
responsibility. The application should indicate clearly the level of
funds which will be made available to this agency for this purpose. The
application should also indicate the level of funds which will be made
directly available to the courts where the courts are the appropriate
source for data on dispositions or other record data.
Permitted Activities in Selected States (``Extended Core Activities'')
In addition to funding core improvements to criminal history
records, BJS will provide a limited amount of NCHIP funds (not to
exceed $5 million in total) to selected states to assist in the
identification of persons other than felons who are prohibited from
purchasing firearms under 18 USC 922 (g) and (n), as amended. The
purpose of this effort will be to support the long-term goal of the
permanent system established under Section 102(b) of the Brady Act by
enhancing the effectiveness of the NICS.
In addition to previously identified non-computerized criminal
history (CCH) categories, the Violent Crime Control Act amended the
Brady Act to prohibit firearm purchase by persons subject to a civil
restraining order arising out of domestic or child abuse. Such orders,
although not technically criminal, are enforced by the criminal justice
system, which depends on the availability of data on such persons for
implementation.
Under the NCHIP ``extended core'' program, funds can be used to
evaluate the feasibility of accessing such records and to develop
protocols for interfacing with non-CCH systems for purposes of
background checks.
BJS will identify those states which are eligible to apply for
funds to conduct such activities based on level of CCH development,
participation in III, extent of automation and technical development,
current efforts to interface with other categories of prohibited
firearm purchasers (either within the state or interstate), and
experience under the BJS CHRI program. States determined to be eligible
will be notified by the end of January 1995. Funds will be in addition
to funds provided for core activities, which will be required to be the
major focus of the state's NCHIP program.
Selected states which wish to apply for funding under this category
should include a separate component in their grant application
describing such activities and proposing a budget to cover the proposed
efforts. This request may be submitted as a supplement or amendment to
the basic application.
States applying for funds under this section should understand that
the goal of these efforts is to demonstrate the feasibility of multi-
database interface for background check purposes and that the projects
are intended to provide guidance to, and serve as models for, future
implementation by other jurisdictions. In particular, it is envisioned
that the programs developed with NCHIP funds will serve as models for
these efforts and that additional states will subsequently use Byrne 5%
set-aside funds to develop system access to non-CCH data. For this
reason, applications for funds under this section should include a
description of proposed efforts to evaluate the success of activities
undertaken and to prepare materials describing the project for exchange
with other states. States should also realize that BJS will be
documenting these efforts and that the applicant will be expected to
provide input as requested by BJS for these materials.
In light of the importance of these demonstration programs to the
overall BJS NCHIP program, BJS will provide additional technical
assistance to the selected states to ensure that, together, the
activities being funded will advance the development of the NICS at
both the state and Federal level.
Least-Advanced Priority State Activities (``Priority State
Activities'')
Section 106(b) of the Brady Act requires that BJS give ``preference
to States that, as of the date of enactment *** have the lowest
currency of case dispositions in computerized criminal history files
***.'' To implement this requirement, at least $5 million will be
allocated to states in this category. Designated states will also be
eligible for priority technical assistance at no cost. The
determination of states qualifying under this special provision will be
made after release of the 1993 Survey of State CHRI Systems. States
will be notified by December 31, 1994. States designated under this
category may only use NCHIP funds to support the basic system
development components of the core funding activity.
Application and Award Process
Eligibility Requirements
Designation of Agency To Administer NCHIP Program
To participate in NCHIP, each state must designate an agency to
submit an application and to administer the program. The agency should
be the agency with primary responsibility for implementing the major
activity to be funded with NCHIP funds or a parent agency with
programmatic oversight over, and legislative authority to transfer
funds to, such agency. Since the NCHIP program focuses on improvement
of criminal records and interface with the NICS, BJS anticipates that,
in a large number of cases, the NCHIP agency will have responsibility
for maintenance of criminal records and liaison with the FBI and/or
other record sources including NIBRS, if existing. As noted below,
NCHIP procedures envision that strong state coordination will exist
between the NCHIP and Byrne 5% set-aside programs to avoid overlap and
maximize funding effectiveness. It is not necessary that the NCHIP
agency be the same as the agency with administrative authority over
Byrne 5% set-aside funds. The application should indicate the basis for
the selection of the NCHIP agency, justified in terms of the
organizational posture of the selected agency and its role in meeting
the goals of the Brady and Child Protection Acts.
Only one application will be accepted from each state for any
period of funding. It is the responsibility of the Governor to select
the applicant agency. A state may, however, choose to submit its
application as part of a multi-state consortium or other entity. In
such case, the application should include a statement of commitment
from each state and be signed by an individual designated by the
Governor of each participating state. The application should also
indicate specific responsibilities, and include a separate budget for,
each state. States may receive successive awards over time, assuming
availability of funds.
Program Narrative
In addition to the requirements set forth in the ``Application and
Administrative Requirements'' section of the program announcement, the
NCHIP application should include the following four parts:
Part I. Background
This part should include a discussion of current and previous
efforts relating to criminal history record improvement funded under
the BJS CHRI program, the BJA Byrne 5% set-aside or with state funds
over the past three years. The discussion should specify the amount of
funds received under the BJS and Byrne programs and the funds remaining
at the time of application. The section should also describe
accomplishments with previous funding and the relationship to proposed
NCHIP activities. A copy of the State plan and the most current update
on the use of Byrne 5% set-aside funds, as submitted to BJA, should be
appended, along with a copy of any other long term state plans for
criminal history record improvement.
Part II. Identification of Needs
This part should discuss audit or other evaluative efforts
undertaken to identify the key areas of weakness in the state's
criminal record system and in its ability to identify ineligible
firearm purchasers or persons ineligible to hold positions involving
children, the elderly or the disabled. Specific reference should be
made to relevant studies and to the findings of any internal or
external independent audits which have been completed in the past five
years.
Part III. NCHIP Effort
This part should describe the activities to be undertaken with
NCHIP funds over the coming 36-month period. Specifically, each
application should indicate the core activities to be undertaken to
improve its criminal history system, to initiate or enhance
participation in III, to support the state's interface with the NICS,
and to meet the timetable established by the Attorney General. The
section should also discuss proposed efforts, if any, to identify
particular offender types (either through interface with NIBRS or other
means); and to ensure that criminal records pertaining to stalking or
domestic abuse are included in criminal record data bases. Discussions
of proposed efforts to upgrade record completeness should indicate
whether, and how, the courts or other record providers have been
involved in preparation of the application and how funds will be made
available to such entities.
Part III of the application should also describe the efforts to be
supported to monitor state compliance with legislative or programmatic
goals through ongoing audits or other means such as statistical
analysis, comparison between CCH records and NIBRS or UCR data. Studies
relating to handgun use or sales approval, if proposed, should be
described in this section. The application should include evidence
that, where appropriate, the state Statistical Analysis Center was
consulted in connection with the development of such projects.
BJS is currently supporting the Firearm Inquiry STatistical
(``FIST'') program to develop national level data on Brady
implementation. BJS will advise states by the end of December 1994 of
the scope of this project. In support of the basic elements of this
project, however, the application should describe procedures to collect
data on the number of Brady inquiries, ``hits'' and captures (including
the total number of queries against data bases other than the criminal
history record). The application should also indicate procedures for
collection of data on the number of background checks on persons
seeking positions involving children, the elderly, or the disabled and
the number of records with action in the past five years which are
complete and automated. States receiving NCHIP funds will be required
to participate in the FIST effort and to submit other information for
evaluation programs instituted under the NCHIP program.
Permitted activities in selected states (``extended core
activities''): States selected to apply for ``extended core'' funds,
may apply for additional funds to develop, and/or implement procedures
to access information on persons other than felons/fugitives who are
Federally prohibited from purchasing a firearm. In addition to
describing proposed activities, interested states should justify their
request for such funding in terms of current CCH development and
participation in III, and describe state procedures, if any, for
interface between the criminal record system and other relevant
databases. (See ``allowable costs'' for covered expenses in this area.)
In order to permit assessment of state progress in meeting grant
goals, Part III of all applications should set forth measurable
benchmarks or goals for each proposed activity.
Part IV. Relationship to Byrne 5% Set-Aside Program
This Part should describe activity to be undertaken with Byrne 5%
set-aside funds during FY 1995 and 1996. A key part of this submission
is a description of the relationship between these activities and the
activities to be supported under the NCHIP program. Where the state has
previously submitted a 1995 update to BJA, a copy of the submission
should be included in this Part to meet this requirement.
Alternatively, a copy of the material developed for this Part, may be
submitted to BJA as the state's 1995 update, consistent with any other
requirements as set forth in the Byrne 5% set-aside Guidelines to be
issued. In the latter case, the state should have this section prepared
by the agency with responsibility for administering the Byrne funds,
rather than the agency designated to administer the NCHIP program. The
relationship between the Byrne 5% set-aside and the NCHIP program is
discussed more fully below.
Coordination Between NCHIP and the Byrne 5% Set-Aside Program
The Bureau of Justice Statistics and the Bureau of Justice
Assistance have jointly agreed that close and continuing coordination
between the NCHIP and Byrne 5% set-aside program is critical to meeting
the goals of the Brady Act and the National Child Protection Act of
1993. Such coordinated efforts are also necessary to ensure the
development of an effective interstate criminal history record system
to meet the needs of law enforcement, the criminal justice community
and the increasing number of non-criminal justice users of criminal
history record information. To achieve this goal, BJS and BJA will,
consistent with the legislative requirements, work together to prepare
Guidelines governing use of the Byrne 5% set-aside funds. The
Guidelines are expected to be finalized by the end of December 1994.
BJS expects that program plans for projects to be funded under
NCHIP and the Byrne 5% set-aside will be coordinated by the state
agencies responsible for these programs. Where costs of a proposed
activity exceed NCHIP available funds or are unallowable under NCHIP,
the state might, for example, use Byrne funds to fill remaining needs.
This joint effort, we believe, will maximize the effectiveness of both
of these programs.
Award Period
The application should cover a three-year period with specific
information provided primarily for the first year. The budget should
provide details for first-year expenses and should contain data in
required categories for years two and three if applicable (see
``Application Content'' in ``Application and Administrative
Requirements'' section). The application should identify those agencies
to receive direct funding and indicate the fiscal arrangements to
accomplish fund transfer.
Application Submission and Due Dates
The goal of the NCHIP program is to ensure that all states receive
funding support. Absent special circumstances, applications should be
received by July 1, 1995, to be eligible for FY 1995 funding.
Applications may be submitted at any time after publication of this
announcement and will be reviewed as received. Based on applications
received by January 31, 1995, up to $25 million of funds available for
core activities will be awarded by April 15, 1995. This does not
include additional awards which may be made from set-asides for
``priority'' states or states undertaking ``extended core'' activities.
Initial awards may be for partial funding for some states. Partially
funded applications will be reconsidered for additional funding at a
later date. Since approval of funding under the NCHIP program will be
based on proposed activities and the overall availability of
appropriations, states submitting applications after the January 31
deadline will not be disadvantaged in overall level of award.
If a state which is eligible to apply for ``priority state''
funding or funding for ``extended core activities'' has already
submitted its application for core activity, the application for
additional funds can be submitted as an amendment or a supplement to
the original application.
Allocation of Funds
To implement the ``preference'' requirement of the Brady Act, not
less than $5 million will be allocated to provide supplemental funding
for the least-advanced ``priority'' states. $5 million will be set
aside to cover the cost of ``extended core'' activities in the states
receiving an award to undertake such projects. $5 million will also be
used to cover costs of technical assistance, evaluation and
coordination. The remainder of available funds will be allocated to
cover the cost of core activities.
States may receive funding from the core allocation as well as
either the fund for ``priority'' states or the fund established for
``extended core'' activity. Including both core funding and
supplemental awards from the set- asides, the least-advanced
``priority'' states will receive an aggregate of at least $10 million.
Review Criteria
States should understand that full funding may not be possible for
all proposed activities. Allocation of funds will be based on the
amount requested and the following factors:
(1) The legislatively mandated ``preference to states which * * *
have the lowest percent currency of dispositions in computerized
criminal history files'' as of 1993;
(2) The extent to which the proposed activities will enable the
state to meet the timetables established for the state by the Attorney
General;
(3) The extent to which improvements in the state system, by virtue
of record numbers, levels of technical development, or operating
procedures, will have a major impact on availability of records
throughout the national system;
(4) The proposed use or enhancement of innovative procedures which
may be of value to other jurisdictions;
(5) The technical feasibility of the proposal and the extent to
which the proposal appears reasonable in light of the state's current
level of system development and statutory framework;
(6) Prior activity of the state with funds under the Byrne and CHRI
programs;
(7) State commitment to the national record system as evidenced by
membership in III, and participation in the FBI's National Fingerprint
File (NFF), Felon Identification in Firearms Sales (FIFS) programs,
etc., and the current status of development of its CCH;
(8) Reasonableness of the budget;
(9) Evidence of state progress in meeting record improvement and
background check goals as measured in terms of audits, and data
collection relating to presale firearm checks and background checks on
persons seeking positions involving children, the aged and the
disabled;
(10) Nature of the proposed expenditures;
(11) The extent to which the plan reflects constructive interface
between relevant components of the state organization and/or multi
state systems; and
(12) The reasonableness of the relationship between the proposed
activities and the current status of the state system, in terms of
technical development, legislation, current fiscal demands, and future
operating costs.
The program does not require either ``hard'' (cash) or ``soft''
(in-kind) match. Indications of state support, however, may be
interpreted as expressions of commitment by the state to the program.
All applicants must agree to participate in evaluations sponsored
by the federal government. Applicants must also agree to provide data
relating to Brady Act activity to the Firearm Inquiry Statistics (FIST)
program in the format designated by the FIST program.
Allowable Costs
To the extent possible, awards will be made to cover all allowable
costs. States receiving funds from the allocation for ``priority''
states, however, will be required to limit expenditures to purposes
directly related to establishment of the basic elements of the criminal
history record system and steps necessary to permit participation in
III. Among the remaining states, use of funds for non-CCH purposes will
be approved only to the extent that the state is making progress toward
the improvement of the criminal history record system and interface
with the III.
Allowable expenses are detailed below. All expenses are allowable
only to the extent that they directly relate to programs described in
the application's program narrative.
Core Activities
(1) Participation in the Interstate Identification Index (III):
This is a key goal, and costs should be related to achieving full
participation. Covered costs include, but are not limited to, costs
associated with automation of the database (see limitations in (4)
below), synchronization of records between state and FBI, and
development of necessary software and hardware enabling electronic
access on an intrastate or interstate basis.
(2) Database enhancement: Improving the quality, completeness and
accuracy of criminal history records is a key goal of the NCHIP effort.
Allowable costs include the costs associated with implementing improved
record capture procedures, establishing more effective accuracy
controls, and ensuring that records of all criminal events that start
with an arrest or indictment are included in the database. In addition
to felony records, limited funds may be used to capture data on serious
misdemeanors, and to ensure that data on persons convicted of stalking
and/or domestic abuse are included in the database. Use of funds for
capture of data on misdemeanors and persons convicted of stalking will
only be approved where the state has, or is actively undertaking
efforts to upgrade, the basic elements of the criminal history record
system.
(3) Improved disposition capture: Automated interface between the
criminal history repository and the courts, prosecutors, and/or
corrections agencies is encouraged. Funds provided to courts or
prosecutors for these purposes are allowable only to the extent that
the function to be supported is related to the capture of disposition
or other data relating to the offender record (for example, full costs
associated with establishment of court MIS systems are not allowable
under the NCHIP program).
(4) Record Automation: These are allowable costs only with respect
to records where the subject has been arrested, indicted, convicted, or
released from confinement within 5 years of the date of automation. As
appropriate, allowable costs also include costs associated with system
design in states with non automated systems or in states proposing to
enhance system operation to include access to non-CCH databases.
(5) Flagging of Records: This is an important activity. Allowable
costs include costs of flagging, or algorithms used for flagging,
felony records and records of persons with convictions for crimes
involving children, the elderly and/or the disabled. Costs may include
the cost of technical record flagging as well as the costs associated
with identification of records to be flagged (see (7) below re:
Interface with NIBRS).
(6) AFIS/Livescan: Automated Fingerprint Identification System
(AFIS)/livescan equipment for local law enforcement agencies is
allowable to improve the level of arrest and disposition reporting, but
only where: (1) The state repository system is automated, participating
or looking toward participation in III, and has in place the technical
capability to accept AFIS transmissions, and (2) sufficient traffic can
be demonstrated to justify the cost, possibly through the use of
regional systems.
AFIS/livescan in squad cars is not allowable since field inquiries
are not a factor in checks under either the Brady Act or the Child
Protection Act. Additionally, since data are not generally input to the
system by the field unit, AFIS in the squad car would not support
record improvement or completeness.
AFIS/livescan for use in courts is allowable to support record
completeness. The same conditions regarding repository capability and
levels of traffic are also applicable to costs in this category.
Costs associated with AFIS/livescan communication from the
repository to the FBI national system (IAFIS) are allowable but only
where the state can demonstrate adequate levels of record completeness
(both arrest and disposition) and current membership in III.
States should understand that Byrne 5% set-aside funds are
available for AFIS and livescan, and that, accordingly, use of NCHIP
funds for AFIS or livescan will only be allowable when justified as
appropriate given the overall status of the state system, its
participation in the national system and its planned use of Byrne 5%
set-aside funds. This is particularly relevant as respects state
proposals to use NCHIP funds to cover costs of local livescan
equipment.
(7) Interface with NIBRS: Funds may be used to interface with any
state data system which is compatible with NIBRS for purposes of
identifying persons convicted of crimes against children, the elderly,
or the disabled, and/or identification of records involving firearm
crimes for operational or research purposes. NCHIP funds are not
available, however, to develop the NIBRS database.
(8) Research, Evaluation, Monitoring and Audits: Costs associated
with research or evaluation efforts are allowable to the extent that
they are directly associated with a project approved in the
application. Costs associated with monitoring state compliance with
legislative or programmatic goals, through ongoing or periodic audits
or other procedures, are allowable and encouraged. The purchase of
equipment such as modems and the necessary communications and data
software for storing and transmitting evaluative data between states
and to BJS or other designated federal agencies is an allowable
expense.
(9) Conversion of juvenile records to the adult system: The
Attorney General has recently amended Federal Regulations to allow the
FBI to accept juvenile records if submitted by the state or local
arresting agency. Expenditures to interface juvenile and adult records
are allowable if consistent with relevant state law and undertaken to
further the goals of the NCHIP program.
(10) Missing Dispositions Backlog Reduction: These costs are
allowable to improve the level of disposition reporting but only where
limited to records with arrests within the past 5 years. States must
also propose a strategy to prevent future backlogs from developing.
(11) Equipment Upgrades: Upgrade costs are allowable where related
to improving availability of data and where appropriate given the level
of data completeness, participation in III, etc. Replacement costs will
be considered but states are encouraged to contribute some portion of
the total costs.
(12) Training, participation in seminars and meetings: Limited
funds may be used to cover costs of training and participation in
state, regional or national seminars or conferences (including travel,
where necessary).
(13) Expenditures related to presale handgun background checks:
Funds are allowable to cover costs incurred by a governmental agency
for equipment or development of capability required to conduct presale
background checks. This ``governmental agency'' limitation may be
waived in a very limited number of cases where the state has
implemented a functioning background check system and can demonstrate
that the vast preponderance of inquiries are made by a limited number
of dealers, that technical and procedural safeguards have been
established to protect the privacy of potential purchasers, and that
the equipment to be provided to dealers would be of use for operation
under the permanent system. Waivers will only be considered in states
which are participants in III and which have achieved high levels of
automation and record completeness. NCHIP funds may not be used to
cover costs of conducting presale background checks.
Extended Core Expenditures
Interface with non-CCH databases: Costs associated with developing
access to, and interface between, databases on persons other than
felons who are ineligible to purchase a firearm are allowed. Such costs
include, but are not limited to, costs of investigating the existence
and completeness of other databases, identifying problems in accessing
and interfacing with such databases, and developing and implementing
protocols for accessing these categories of data, and, where
appropriate, incorporating such data into criminal history record data
systems. Costs of documenting these projects and presenting results
thereof are also allowable. Costs in this category are allowable only
for those selected states that receive a grant to conduct ``extended
core'' activities.
Application and Administrative Requirements
Application Content
All applicants must submit:
Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
OJP Form 4000/3 (Rev. 1-93), Program Narrative and
Assurances
OJP Form 4061/6 Certifications
OJP Form 7120/1 (Rev. 1-93), Accounting System and
Financial Capability Questionnaire (to be submitted by applicants who
have not previously received Federal funds).
Copies of these forms can be obtained from the BJS Application
Coordinator.
Applicants are requested to submit an original and two copies of
the application and certifications to the following address:
Application Coordinator, Bureau of Justice Statistics, 633 Indiana
Avenue, NW., Washington, DC 20531, Phone: (202) 616-3500.
Standard Form 424 (SF-424). The SF-424, a one page sheet with 18
items, serves as a cover sheet for the entire application. This form is
required for every application for Federal assistance. No application
can be accepted without a completed, signed original SF-424. Directions
to complete each item are included on the back of the form.
Standard Form 424A (SF-424A). All applications must include SF-
424A, Budget Information for all years of project activity. Applicants
should ensure that all appropriate columns and rows balance. Directions
to complete this form are found on page 3 of SF-424A.
Detailed Budget. Applicants must provide a detailed justification
for all costs during year one and for any additional project years, as
appropriate, including the basis for computation of these costs. For
example, the detailed budget would include the salaries of staff
involved in the project and the portion of those salaries to be paid
from the award; fringe benefits paid to each staff person; travel costs
related to the project; equipment to be purchased with the award funds;
and supplies required to complete the project.
Budget Narrative. The budget narrative closely follows the content
of the detailed budget. The narrative should relate the items budgeted
to project activities and allowable cost categories and should provide
a justification and explanation for the budgeted items including the
criteria and data used to arrive at the estimates for each budget
category. Please note applications that include noncompetitive
contracts for the provision of specific services must contain a sole
source justification for any procurement in excess of $25,000. The
budget narrative should indicate amounts to be made available to
agencies identified in the program strategy (for example, the agency
with responsibility for CCH, the courts, local agencies.)
Program Narrative. All applications must include a program
narrative which fully describes the expected design and implementation
of the proposed program. In developing the narrative, refer to the
program design (permitted core and noncore activities) as described in
the program announcement. OJP Form 4000/3 (Rev. 1-93) provides
additional detailed instructions for preparing the program narrative.
The narrative should include a timeline of activities indicating,
for each proposed activity, the projected duration of the activity,
expected completion date, and any products expected.
The application should include an explanation of the placement of
the applicant agency within the State organization structure; a
description of the roles and responsibilities of key organizational
and/or functional components involved in project activities; and a list
of key personnel responsible for managing and implementing the major
elements of the program.
Assurances. OJP Form 4000/3 (Rev 1-93) must be included in the
application submission. If submitting this form separate from the SF-
424, the applicant must sign and date the form to certify compliance
with the Federal statutes, regulations, and requirements as cited.
Certification Regarding Lobbying; Debarment, Suspension, and Other
Responsibility Matters; and Drug-Free Workplace. Applicants should
refer to the regulations cited in OJP Form, 4061/6 to determine the
certification to which they are required to attest. A copy of OJP Form
4061/6 can be obtained from the BJS Application Coordinator. Applicants
should also review the instructions for certification included in the
regulations before completing this form. Signature of this form
provides for compliance with certification requirements under 28 CFR
Part 69, ``New Restrictions on Lobbying,'' and 28 CFR Part 67,
``Government-wide Debarment and Suspension (Nonprocurement) and
Government-wide Requirements for Drug-Free Workplace (Grants).'' The
certifications shall be treated as a material representation of fact
upon which reliance will be placed when the U.S. Department of Justice
determines to award the covered transaction, grant, or cooperative
agreement.
Financial and Administrative Requirements
Discretionary grants are governed by the provisions of OMB
Circulars applicable to financial assistance. The circulars, with
additional information and guidance, are contained in the ``Financial
and Administrative Guide for Grants,'' Office of Justice Programs,
Guideline Manual, M7100, available from the Office of Justice Programs.
This guideline manual, provided upon request, is intended to assist
grantees in the administration of funds and includes information on
allowable costs, methods of payment, Federal rights of access to
records, audit requirements, accounting systems, and financial records.
Complete and accurate information is required relative to the
application, expenditure of funds, and program performance. The
consequences of failure to comply with program guidelines and
requirements will be determined at the discretion of the Department.
Civil Rights Obligations
All applicants for Federal financial assistance must sign Certified
Assurances that they are in compliance with the Federal laws and
regulations which prohibit discrimination in any program or activity
that receives such Federal funds. Section 809(c), Omnibus Crime Control
& Safe Streets Act of 1968, 42 U.S.C. 3789d, provides that:
No person in any State shall on the ground of race, color,
religion, national origin, or sex be excluded from participation in,
be denied the benefits of, or be subjected to discrimination under,
or denied employment in connection with any program or activity
funded in whole or in part with funds made available under this
title.
Section 504 of the Rehabilitation Act of 1973, and Title II of the
Americans With Disabilities Act prohibit discrimination on the basis of
disability.
The applicant agency must discuss how it will ensure
nondiscriminatory practices as they relate to:
(1) Delivery of services or benefits--to ensure that individuals
will not be denied access to services or benefits under the program or
activity on the basis of race, color, religion, national origin,
gender, age, or disability;
(2) Employment practices--to ensure that its personnel in the
program or activity are selected for employment without regard to race,
color, religion, national origin, gender, age, or disability; and
(3) Program participation--to ensure members of any planning,
steering or advisory board, which is an integral part of the program or
activity, are not excluded from participation on the basis of race,
color, religion, national origin, gender, age or disability; and to
encourage the selection of such members who are reflective of the
diversity in the community to be served.
Audit Requirement
In October 1984, Congress passed the Single Audit Act of 1984. On
April 12, 1985, the Office of Management and Budget issued Circular A-
128, ``Audits of State and Local Governments'' which establishes
regulations to implement the Act. OMB Circular A-128, ``Audits of State
and Local Governments,'' outlines the requirements for organizational
audits which apply to BJS grantees.
Disclosure of Federal Participation
Section 8136 of the Department of Defense Appropriations Act
(Stevens Amendment), enacted in October 1988, requires that, ``when
issuing statements, press releases for proposals, bid solicitations,
and other documents describing projects or programs funded in whole or
in part with Federal money, all grantees receiving Federal funds,
including but not limited to State and local governments, shall clearly
state (1) the percentage of the total cost of the program or project
which will be financed with Federal money, and (2) the dollar amount of
Federal funds for the project or program.''
Intergovernmental Review of Federal Programs
Federal Executive Order 12372, ``Intergovernmental Review of
Federal Programs,'' allows States to establish a process for reviewing
Federal programs in the State, to choose which programs they wish to
review, to conduct such reviews, and to make their views known to the
funding Federal agency through a State ``single point of contact.''
If the State has established a ``single point of contact,'' and if
the State has selected this program to be included in its review
process, the applicant must send a copy of its letter or application to
the State ``single point of contact'' at the same time that it is
submitted to BJS. The letter or application submitted to BJS must
indicate that this has been done. The State must complete its review
within 60 days. The review period will begin on the date that the
letter or application is officially received by BJS. If BJS does not
receive comments from the State's ``single point of contact'' by the
end of the review period, this will be interpreted as a ``no comment''
response.
If the State has not established a ``single point of contact,'' or
if it has not selected the BJS statistics development or criminal
history improvement programs in its review process, this must be stated
in the letter or application.
Jan M. Chaiken,
Director Bureau of Justice Statistics.
[FR Doc. 94-29577 Filed 11-30-94; 8:45 am]
BILLING CODE 4410-18-P
